Portfolio Compliance Analyst
Job Summary:
The Portfolio Compliance Analyst will report to the Manager, Portfolio Compliance (Monitoring) and will ensure accounts are in compliance with client investment guidelines, restrictions and regulatory requirements. 
This position requires an individual who possesses the personal attributes and the professional experience consistent with the Firm’s high standards of conduct and performance. In performing the job, the individual must demonstrate behaviors consistent with the company core values including:
Act with Integrity
  • Demonstrates values and ethics aligned to BGIM and is looked to for guidance on standards and norms
  • Follows through on commitments
  • Viewed as direct and truthful
  • Shows consistency between words and actions
  • Keeps confidences
Take Ownership
  • Feels a sense of personal responsibility in seeing tasks to completion
  • Works and thinks like a team member – owns their responsibilities while also considering the enterprise impact
  • Takes personal accountability for decisions, actions and outcomes.
  • Takes an active role in managing their own career development
Be Curious. Challenge Conventional Thinking
  • Introduces new ways of looking at problems
  • Experiments and finds new solutions
  • Has the courage to push back and ask questions that advance the group’s thinking
Debate with an Open Mind
  • Uses compelling arguments in representing own interests while actively seeking to understand different perspectives
  • Steps up to address difficult issues, says what needs to be said
  • Champions an idea or position despite dissent or political risk
Build Strong Diverse Relationships
  • Relates openly and comfortably with diverse groups of people.  This includes diversity in the broadest sense – diversity of thought and functional expertise in addition to race, gender, ethnicity, sexual orientation.
  • Builds effective formal and informal relationships inside and outside the organization – including co-workers, clients, vendors and parent company, Legg Mason.
  • Draws upon multiple relationships to exchange ideas, resources and know-how
  • Embraces the spirit of collegiality, mutual respect and teamwork
Strive For Balance
  • Prioritizes business needs with an understanding personal realities
  • Understands and considers competing agendas and priorities within the firm when making decisions
Primary Responsibilities:
  • With support from Senior Portfolio Compliance Analyst(s), assist with daily monitoring of fixed income accounts for compliance with client investment guidelines, restrictions, and regulatory requirements
  • Act as primary back-up to the portfolio compliance process for equity accounts within Charles River including account coding, guideline updates and daily monitoring
  • Support the Fixed Income Portfolio Managers and Portfolio Implementation team on investment guideline implications of investment and trading decisions
  • Generate and provide portfolio compliance related information, as may be required by clients, prospective clients, internal personnel, regulators, examiners, and auditors
  • Evaluate, resolve, and escalate pre- and post-trade compliance alerts and/or warnings
  • Compile and provide information to the Marketing, Sales & Client Service department in support of various compliance certification reporting requirements
  • Evaluate and analyze security prospectuses, as needed, to ensure compliance with regulatory requirements
  • Assist in establishing customized or manual processes where investment guideline monitoring cannot be fully automated
  • Contribute to the maintenance, improvement and continuous refinement of the portfolio compliance function
  • Extensive knowledge of fixed-income and equity securities, derivatives, benchmarks, and various security classifications and characteristics
  • Understanding of investment and operation’s processes, investment systems management, trading and risk management
  • Knowledge of Firm’s investment products a plus
  • Experience in using spreadsheets, databases, and other desktop applications; familiarity with Bloomberg and/or Charles River trading front end systems is a plus
  • Excellent interpersonal communication, analytical, problem-solving and judgement skills
  • Commitment to task and to the team; ability to start and complete specific tasks with motivation and a sense of urgency in a fast-paced environment
  • Bachelor’s degree
  • 3-5 years experience in investment management compliance or related experience
Brandywine Global Investment Management, LLC is an Equal Opportunity Employer